Securities Litigation, Arbitration & Regulatory Practice
Brock Clay provides legal services to financial service firms and the securities industry through highly specific experience in financial litigation and arbitration.
We have: - Over 25 years of financial service firm and securities industry experience
- Intimate understanding of industry-specific realities
- Personal knowledge of the regulatory environment at the federal, state, and SRO levels
- Legal Services specific to Securities and Financial industries:
- Customer complaints
- Broker transactions
- Employment litigation
- Regulatory inquiry response
Brock Clay’s financial service and securities industry experience mostly involves larger member firms, although we do have experience with individual clients. When working on financial and securities cases, Brock Clay handles the entire arbitration process. Arbitration services offered include: - Motions to compel
- Motions for summary adjunction and arbitration
- Parallel regulatory investigations and arbitration
- Expedited arbitrations
- Post-arbitration award confirmation
- Domestication and enforcement of judgments
- CRD expungement
- CRD issues arising after arbitration
When taking on a financial or securities case, Brock Clay aggressively pursues the most effective strategy possible. Our years of experience allow us to gain tactical advantages in the arbitration process. Whether dealing with sales practice or employment issues, Brock Clay provides proficient and comprehensive solutions. |